About

The firm's mission is to provide best-in-class consulting and expert services to an underserved area of the financial industry - those people who support the trade desk. These unsung heroes in operations, compliance, surveillance, legal and technology provide the backbone for the capital markets, and TRADEliance is here to ensure that individuals in these roles receive the attention and high quality guidance they deserve.

Throughout their time with TRADEliance, Jesy and Kat have helped clients by:

mitigating regulatory scrutiny,
building better operational and compliance programs and procedures, and
deeply analyzing complex sets of data to identify trends or patterns others may have missed.

Their collective years of experience in the financial industry at both large and small, introducing and self clearing, and buy and sell side firms provides them the well rounded skill set that can be leveraged to aid clients in achieving their goals.

Jesy brings deep compliance and operational expertise shaped by years supporting firms across the full trade lifecycle. She specializes in navigating regulatory requirements, strengthening control frameworks, and identifying risks. Her expertise can help streamline complex compliance, operational or legal work by reducing ambiguity and providing persuasive, functional explanations of trading operations and compliance topics.

She's assisted firms in remediating and mitigating enforcements as well as building internal processes & procedures, writing policies and performing deep data analysis.

Expertise

Experience working for small and large firms, in nearly every facet of compliance – inclusive of policies and procedures development, testing and implementation.
Managed Compliance programs both on the buy and the sell side.
Experience as a trader and leading a team of fixed income traders allowing for first-hand knowledge of the issues and pain points of traders in the industry.
Extensive experience working directly with the regulators, including assisting in the remediation of precedent-setting SEC enforcement cases.
Developed an audit-like approach to solving complex problems resulting in meticulously thought-out, process-driven solutions.

Education and Credentials

Bachelor's degree and MBA, Indiana University
Obtained FINRA licenses 7, 63, 9, 10, 24, and 53
2018-2019 Member of the MSRB Compliance Advisory Group
Co-creator/organizer, St. Louis Regulation and Operations Networking Group (STRONG) Round Tables

Kat has spent her career in the financial industry specializing in trading operations and regulation. Her experience allows her to bring a unique understanding of building processes around the lifecycle of a trade that are efficient for the business and compliant with the rules and regulations. By combining regulatory expertise with business insight, she is able to deliver effective solutions.

She has assisted firms by providing regulatory considerations with an operational approach such as creating regulatory system enhancements, creating and updating procedures, and assisting with regulatory inquiries and examinations.

Expertise

Experience in nearly every operational space, having worked at four financial institutions ranging in all sizes, both introducing and self-clearing.
Developed, maintained, and administered multiple order management systems, offering aggregators, and trading supervisory systems.
Experience in Fixed Income Capital Markets for both institutional and private wealth.
Handled regulatory aspects within the business unit, including regulatory system enhancements, creation and updates to procedures, and FINRA and SEC inquiries and exams.
Created strategic and efficient processes for trading operations.

Education and Credentials

Bachelor's degree, Indiana University
Obtained FINRA Licenses 7, 63, 9, 10, 23, and 99
President, Security Traders Association of St Louis (STASL)
Co-creator/organizer, St. Louis Regulation and Operations Networking Group (STRONG) Round Tables

About TRADEliance

Jesy LeBlanc

Founder, Managing Partner

Kat Miller

Founder, Managing Partner

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